New process for high optical quality InAs quantum dots
grown on patterned GaAs(001) substrates
P. Alonso-González1,3, L. González1, Y. González1, D. Fuster1, I.
Fernández-Martínez1 , J. Martín-Sánchez1 and L. Abelmann2
1
Instituto de Microelectrónica de Madrid (CNM, CSIC), Isaac Newton 8,
28760, Tres Cantos, Madrid, Spain.
2
SMI, MESA+Institute of Nanotechnology, University of Twente, P.O.
Box 217, 7500 AE. Enschede
E-mail: palonso@imm.cnm.csic.es
Abstract. This work presents a selective UV-ozone oxidation-chemical etching process
that has been used, in combination with laser interference lithography (LIL), for the
preparation of GaAs patterned substrates. Further molecular beam epitaxy (MBE)
growth of InAs results in ordered InAs/GaAs quantum dot (QD) arrays with high optical
quality from the first layer of QD formed on the patterned substrate. The main result is
the development of a patterning technology that allows the engineering of customized
geometrical displays of QD with the same optical quality as those formed spontaneously
on flat non-patterned substrates.
PACS: 81.05.Ea; 81.15.Hi; 85.40.Hp
1. Introduction
3
Author to whom any correspondence should be addressed.
1
Ordered quantum dot (QD) configurations are demanded for the new nano-electronics and
quantum computation future technologies [1]. In particular, for the development of quantum
devices, a precise site control and high crystalline quality of the nanostructures is necessary [2].
For this purpose, many approximations have been studied to overcome the randomness of
spontaneously self-assembled nanostructure [3] while keeping at the same time the
nanostructure defect free, which is its main advantage. To achieve this aim, a quite wide-spread
strategy is the modification of the surface to create preferential nucleation sites for the
nanostructures by using patterned substrates. In this way, highly ordered arrays of
semiconductor QD have already been obtained by using different lithographic techniques [4-9].
The main drawback of these approaches is the loss of crystalline perfection and the
incorporation of impurities in the nanostructures associated with the technological processes
involved in the patterning. In this situation, the QD formed at the patterned surface show poor
optical properties. Thus, in order to achieve high photoluminescence (PL) efficiency, similar to
that obtained from self-assembled QD on unprocessed substrates, it is necessary to separate the
QD far from the patterned interface. Using this method, the growth of stacks of several QD
layers on the patterned substrates [8] has been demonstrated as a possible solution for obtaining
simultaneously ordered QD and high optical quality. However, despite the progress made in
minimizing undesired effects related with the technology used for patterning, it is still necessary
to develop new technological processes that ideally would allow for the fabrication of QD with
an accurate control in size, shape and position while keeping them as defect-free nanostructures.
In this work we present results that demonstrate a way to obtain large area ordering of QD with
high optical quality on a patterned substrate. This is obtained from the first QD layer without the
need of using stacks of QD layers or separating the QD layer from the patterned surface by
thick buffer layers that smoothen the patterned profile. Our approach consists of using a
combination of selective UV-ozone cleaning/oxidation process and chemical etching to produce
configurations of ordered concave pits, or convex humps, on a previously masked GaAs
substrate. The process followed results in a bare GaAs surface patterned with nanoholes ready
for further epitaxial growth of InAs QD in a molecular beam epitaxy (MBE) system. The final
result is the formation of ordered QD at a short distance (6.8 nm) of the patterned substrate with
emission properties similar to those from self-assembled QD.
2. Experimental
2
Our experiments start with a 500 nm thick undoped epitaxial GaAs layer grown by MBE on a
commercial epi-ready GaAs (001) substrate (from this point on, epitaxial substrate). On top of
the epitaxial substrate, a direct negative resist (MaN2403, MicroResist Technology,
Berlin/Germany) was spin-coated. The initial photoresist thickness was 215 nm, which reduces
somewhat after bake-out. The exposure of the photoresist was carried out with a laser
interference set-up [10]. In this set-up a 266 nm quadrupled Nd:YAG laser beam is projected
onto a Lloyd’s mirror and the resulting periodic fringe interference pattern with a periodicity of
300 nm is used for the exposure. By rotating the sample at an angle of 45º and performing a
second exposure, we obtain after development an array of holes aligned in a square pattern.
Next step is to transfer this pattern fabricated by LIL to the GaAs substrate. For that purpose we
first oxidize the bare GaAs nanoholes by exposing the sample to ozone [11, 12]. The oxidation
process consists of exposure of the GaAs substrate to UV light with a wavelength =184.9 nm
produced in a low-pressure Hg discharge lamp in open air conditions. In this situation, atomic
oxygen and ozone are simultaneously produced upon interaction of the UV light with the
oxygen present at the air atmosphere [13]. The ozone reacts with the GaAs surface producing
Ga2O3, As2O5 and As2O3 [11]. After ozone exposure, the bottom of the holes is now oxidized
GaAs which can chemically be removed by dipping the sample in 1M citric acid dissolution
during 60 sec. The combination of oxide formation/oxide dissolution leaves atomically smooth
GaAs surface, as characterized by AFM. Previous calibrations of our experimental set up show
that 1 nm of the GaAs substrate is removed per oxidation/oxide dissolution cycle, for an ozone
exposition of 60 sec. By repeating this process we can produce nanoholes in the GaAs substrate
tuning their depth in an extremely accurate way.
Next step to achieve a GaAs patterned substrate is to get rid of the resin existing between the
nanoholes. The resin was selectively removed by a proper mix of developer MF440, remover
mr-REM 660 and HF. Oxygen plasma was also used to guarantee surface cleanliness.
Once the patterned GaAs substrates were obtained, the samples were loaded in the MBE
chamber. Previously to the growth of the InAs QD, the surface has to be treated in order to
remove native oxides and other possible residual contaminants. This process has to be carried
out at a low enough substrate temperature, as close as possible to T s  500ºC in order to avoid
the degradation or smoothing of the pattern [14]. With this aim different low temperature
treatments of the surface have been previously reported [15,16]. In our case, the sample,
introduced in the chamber together with a non-patterned GaAs epitaxial substrate as a reference,
was treated by exposing to an atomic hydrogen flux with a pressure of P(H2) = 10-5 mbar at a
substrate temperature of Ts = 450 ºC. During this process the As cell was maintained opened
3
with a measured value of beam equivalent pressure, BEP (As4) = 2x10-6 mbar. The reflection
high energy electron diffraction (RHEED) diagram showed a clear 2x periodicity along [1-10]
direction on the reference sample after the first minute of exposure. The process is maintained
during 20 min in order to eliminate possible residual organic contaminants from the resin on the
pattern sample.
Trying to keep most of the growth process at Ts< 500 ºC, after the oxide removal process, a 6.8
nm thick GaAs buffer layer was grown at Ts = 450 ºC by atomic layer molecular beam epitaxy
(ALMBE) technique [17].
The formation of InAs QD was carried out by depositing at Ts=510ºC InAs up to the critical
thickness (c = 1.7 ML), as observed by a 2D-3D change in the RHEED diagram of the
reference sample (without pattern). InAs was grown following a growth sequence consisting of
0.1 monolayers (ML) of InAs deposition at a growth rate of 0.05 ML/s followed by a pause of 2
s under As2 flux. The different parameters involved in this epitaxial growth were optimized to
ensure the atomic flatness of the interface and the highest optical quality of the QD [18].
For PL investigation, we have covered the InAs QD with a 15 nm thick GaAs layer. For AFM
characterization, after the GaAs cap layer, we have deposited again 1.7 ML of InAs for QD
formation on the surface.
3. Results
Figure 1(a) shows the atomic force microscope (AFM) image of a typical hole array as starting
configuration. In this case, the diameter of the circular windows is 220 ± 20 nm and their
average depth 200 nm that corresponds to the previously deposited resist thickness. The centre
to centre distance between contiguous holes is 300 ± 10 nm, which is in agreement with the
settings in the LIL setup.
Figure 1(b) shows an AFM image of the GaAs surface after four oxidation/oxide dissolution
cycles. The average diameter of the obtained patterned holes is 280 ± 33 nm and 4 ± 0.5 nm in
depth. Comparing with the original apertures on the resin layer, the final holes transferred to the
GaAs substrate are wider while the distance between holes is totally preserved (290 ± 10 nm).
The surface between holes is very smooth, with a peak to peak roughness of 0.6 nm. With
respect to the morphology at the bottom of the holes, it presents a higher, although still low,
roughness of 1 nm.
4
a)
1 m
b)
1 m
Figure1: 5x5 m2 atomic force microscopy (AFM) images of (a) the initial patterned surface
fabricated by laser interference lithography (LIL) with opened nanoholes over a resin layer and
(b) the GaAs etched surface after four oxidation/oxide dissolution cycles. A profile along the
line drawn on the respective figures is shown on the right.
Figure 2 shows the comparative AFM image of the superficial InAs QD grown on patterned and
non-patterned substrates (figure 2(a) and 2(b) respectively) for samples with buried QD (for PL
characterization) and QD at the surface. On the patterned substrate, figure 2(a), a square
configuration of ordered QD is clearly observed. The spatial distribution of the buried QD
seems to be perfectly replicated onto the QD grown at the surface following the initial pattern
ordering (figure 1(b)). On the other hand, the AFM image of the reference sample (figure 2(b))
shows a typical random nucleation of QD.
5
a)
b)
1 m
1 m
Figure2: (a) 10x10 m2 atomic force microscopy (AFM) image of (a) square superficial QD
distribution grown on a selective etched GaAs substrate and (b) QD grown on the non-patterned
reference sample.
We have also observed that, due to imperfections in the LIL process, some peripheral parts of
the initial pattern presents an eventual overlapping of the holes along [1-10] direction (figure
3(a)). Related to this geometry of the initial pattern, linear configurations of QD were obtained
(figure 3(b)). The features of the pattern will probably be magnified during the 6.8 nm thick
GaAs buffer layer growth due to the enhanced Ga diffusion along [1-10].
a)
250 nm
b)
250 nm
6
Figure3: 2x1 m2 atomic force microscopy (AFM) images of (a) the starting resin pattern
fabricated by laser interference lithography showing overlapping of the holes along [1-10]
direction and (b) aligned QD grown on the resulting GaAs patterned substrate.
The average base diameter and height of QD in both square and linear configuration are 69±10
nm and 18±5 nm respectively. The QD on the reference sample present a similar diameter of
67±10 nm and height of 17±5 nm. The density of QD in the patterned and the reference samples
is 1.9 x 109 cm-2 and 2.5 x 109 cm-2 respectively.
Figure 4 shows the normalized 20K PL spectra for InAs QD grown on the patterned substrate
(dotted line) and on the reference sample (continuous line). QD distribution of these samples is
shown on figure 2. Both the emission energy and line width of the main PL peak (Ep = 1.2, 1.18
eV, FWHM = 43, 44 meV for the patterned and reference sample respectively) are very similar.
In the ordered QD PL spectrum we observe another peak of less intensity at lower energies. We
exclude that these two PL peaks correspond to ground and excited states of the QD as the
relative intensity remains constant with the excitation power. The appearance of two PL peaks
might be related to a bimodal size distribution in the QD [19] of the patterned sample.
Nevertheless, it remains unclear why the low energy PL peak is not observed in the reference
sample, taking into account that the size distribution of QD on both patterned and non-patterned
substrates is very similar.
Figure4: Comparison of the normalized 20 K photoluminescence (PL) spectra of the ordered
InAs QDs array (dotted line) and the simultaneously grown reference sample (continuous line).
The emission energy and the line width of the main PL peak are Ep = 1.2 and 1.18 eV, FWHM =
43 and 44 meV respectively.
7
These results show that after the whole technological process for patterning the GaAs substrates
and further growth of an extremely thin GaAs buffer layer (6.8 nm), we have obtained a
patterned substrate with the same characteristics of flatness and cleanliness of an unprocessed
substrate. Instead of the random distribution of self-assembled QD on flat surfaces, the
patterned substrates impose an ordering of the QD layout. In turn, improvements in size
uniformity in the initial patterning could be critical for the degree of ordering achieved in the
final QD distributions.
4. Summary
In summary, in this work we demonstrate that ordered QD with the same optical quality as
shown by the random self-assembled QD can be obtained without the need of stacking a number
of QD layers to separate the active QD far from the patterned substrate. The fabrication process
developed is based on a novel combination of ozone oxidation/oxide etching process of a
previously LIL masked substrate. The oxides formed were dissolved in citric acid solution.
Repeating the oxidation/oxide dissolution process, the mask pattern is transferred to the
substrate leaving arrays of nanoholes with a depth that can be tuned up as desired. Upon further
epitaxial growth, ordered QD distributions have been obtained with a PL emission similar to
that obtained on self-assembled QD grown on unprocessed substrates.
Demonstrated for the case of patterning by LI lithography, this process can be extended to any
other lithographic technique.
Acknowledgements
The authors gratefully acknowledge financial support by the Spanish MEC and CAM through
projects No. TEC-2005-05781-C03-01, NAN2004-09109-C04-01, Consolider-Ingenio 2010
CSD2006-0019 and S-505/ESP/000200, and by the European Commission through SANDIE
Network of Excellence (No. NMP4-CT-2004-500101). PAG and JMS thank to the I3P program.
Mr. H. Kelderman of the MESA+ research insitute is gratefully acknowledged for the
production of the LIL patterns.
8
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Figure captions
Figure1: 5x5 m2 atomic force microscopy (AFM) images of (a) the initial patterned surface
fabricated by laser interference lithography (LIL) with opened nanoholes over a resin layer and
(b) the GaAs etched surface after four oxidation/oxide dissolution cycles. A profile along the
line drawn on the respective figures is shown on the right.
Figure2: (a) 10x10 m2 atomic force microscopy (AFM) image of (a) square superficial QD
distribution grown on a selective etched GaAs substrate and (b) QD grown on the non-patterned
reference sample.
Figure3: 2x1 m2 atomic force microscopy (AFM) images of (a) the starting resin pattern
fabricated by laser interference lithography (LIL) showing overlapping of the holes along [1-10]
direction and (b) aligned QD grown on the resulting GaAs patterned substrate.
Figure4: Comparison of the normalized 20 K photoluminescence (PL) spectra of the ordered
InAs QDs array (dotted line) and the simultaneously grown reference sample (continuous line).
The emission energy and the line width of the main PL peak are Ep = 1.2 and 1.18 eV, FWHM =
43 and 44 meV respectively.
1
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